REGCOMP FINANCIAL

From broker dealer formations to implementation of supervisory controls and everything in between, RegComp Financial provides top-tier expertise and global coverage to advise at every stage of the broker dealer life cycle. We are a full-service provider for capital acquisition brokers and limited scope broker dealers... We are a specialized compliance consulting firm dedicated to supporting lower and middle-market investment advisers, private funds, and broker dealers. As former regulators and in-house senior staff, we understand the specific regulatory needs and critical policy issues relevant to PE/VC, RIAs, Hedge Funds and Broker Dealers. We support those needs by active involvement on an outsourced basis... As a small firm, we would, if it came to a preference, rather be best than biggest in our space. In addition, we are committed to diversity, giving back to the communities in which we serve, and unparalleled integrity.